0001209191-19-045138.txt : 20190808
0001209191-19-045138.hdr.sgml : 20190808
20190808165825
ACCESSION NUMBER: 0001209191-19-045138
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190806
FILED AS OF DATE: 20190808
DATE AS OF CHANGE: 20190808
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Haltmayer Neven
CENTRAL INDEX KEY: 0001380567
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-25826
FILM NUMBER: 191010369
MAIL ADDRESS:
STREET 1: 549 BALTIC WAY
CITY: SUNNYVALE
STATE: CA
ZIP: 94089
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: HARMONIC INC
CENTRAL INDEX KEY: 0000851310
STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663]
IRS NUMBER: 770201147
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 4300 NORTH FIRST STREET
CITY: SAN JOSE
STATE: CA
ZIP: 95134
BUSINESS PHONE: 4084906242
MAIL ADDRESS:
STREET 1: 4300 NORTH FIRST STREET
CITY: SAN JOSE
STATE: CA
ZIP: 95134
FORMER COMPANY:
FORMER CONFORMED NAME: HARMONIC LIGHTWAVES INC
DATE OF NAME CHANGE: 19950404
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2019-08-06
0
0000851310
HARMONIC INC
HLIT
0001380567
Haltmayer Neven
4300 NORTH FIRST STREET
SAN JOSE
CA
95134
0
1
0
0
SVP, Video R&D
Common Stock
2019-08-06
4
M
0
6375
0.00
A
159813
D
Common Stock
2019-08-06
4
F
0
2204
7.26
D
157609
D
Common Stock
2019-08-06
4
M
0
30000
5.78
A
187609
D
Common Stock
2019-08-06
4
S
0
30000
7.2762
D
157609
D
Common Stock
2019-08-07
4
M
0
30000
5.78
A
187609
D
Common Stock
2019-08-07
4
S
0
30000
7.204
D
157609
D
Common Stock
2019-08-08
4
M
0
30000
0.00
A
187609
D
Common Stock
2019-08-08
4
S
0
30000
7.23
D
157609
D
Performance Restricted Stock Units
0.00
2019-08-06
4
M
0
6375
0.00
D
2017-03-20
2020-03-15
Common Stock
6375
19125
D
Stock Option/Right to Buy
5.78
2019-08-06
4
M
0
30000
5.78
D
2014-02-15
2020-03-15
Common Stock
30000
90000
D
Stock Option/Right to Buy
5.78
2019-08-07
4
M
0
30000
5.78
D
2014-02-15
2020-03-15
Common Stock
30000
60000
D
Stock Option/Right to Buy
5.78
2019-08-08
4
M
0
30000
5.78
D
2014-02-15
2020-03-15
Common Stock
30000
30000
D
These shares of common stock were acquired upon the vesting of performance-based restricted stock units on 8/6/2019. These performance-based restricted stock units were initially granted to the Reporting Person on 3/20/2017, and were identified on a Form 4 filed by the Reporting Person on 3/22/2017.
Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units.
These shares of common stock were acquired upon the exercise of a stock option/right to buy on August 6, 2019. The option was initially granted to the Reporting Person on 3/15/2013, and was identified on a Form 4 filed by the Reporting Person on 3/19/2013.
These shares of common stock were acquired upon the exercise of a stock option/right to buy on August 7, 2019. The option was initially granted to the Reporting Person on 3/15/2013, and was identified on a Form 4 filed by the Reporting Person on 3/19/2013.
These shares of common stock were acquired upon the exercise of a stock option/right to buy on August 8, 2019. The option was initially granted to the Reporting Person on 3/15/2013, and was identified on a Form 4 filed by the Reporting Person on 3/19/2013.
/s/ Laura Donovan
By Attorney-in-Fact Laura Donovan
2019-08-08